| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UPST | Common Stock | Sale | -$3.51M | -15.7K | -8.79% | $223.81* | 163K | Sep 1, 2021 | Direct | F1, F2, F3, F4, F5 |
| transaction | UPST | Common Stock | Sale | -$8.34M | -37.1K | -22.83% | $224.57* | 126K | Sep 1, 2021 | Direct | F1, F5, F6 |
| transaction | UPST | Common Stock | Sale | -$7.8M | -34.6K | -27.53% | $225.62* | 91K | Sep 1, 2021 | Direct | F1, F5, F7 |
| transaction | UPST | Common Stock | Sale | -$6.65M | -29.3K | -32.26% | $226.63* | 61.6K | Sep 1, 2021 | Direct | F1, F5, F8 |
| transaction | UPST | Common Stock | Sale | -$1.82M | -8K | -12.99% | $227.35* | 53.6K | Sep 1, 2021 | Direct | F1, F5, F9 |
| transaction | UPST | Common Stock | Sale | -$68.4K | -300 | -0.56% | $228.14* | 53.3K | Sep 1, 2021 | Direct | F1, F5, F10 |
| transaction | UPST | Common Stock | Sale | -$133K | -593 | -0.06% | $223.51* | 999K | Sep 1, 2021 | See Footnote | F11, F12, F13 |
| transaction | UPST | Common Stock | Sale | -$280K | -1.25K | -0.12% | $224.41* | 998K | Sep 1, 2021 | See Footnote | F11, F13, F14 |
| transaction | UPST | Common Stock | Sale | -$570K | -2.53K | -0.25% | $225.62* | 996K | Sep 1, 2021 | See Footnote | F11, F13, F15 |
| transaction | UPST | Common Stock | Sale | -$381K | -1.68K | -0.17% | $226.76* | 994K | Sep 1, 2021 | See Footnote | F11, F13, F16 |
| transaction | UPST | Common Stock | Sale | -$45.5K | -200 | -0.02% | $227.45* | 994K | Sep 1, 2021 | See Footnote | F11, F13, F17 |
| transaction | UPST | Common Stock | Sale | -$106K | -473 | -0.05% | $223.37* | 1M | Sep 1, 2021 | See Footnote | F18, F19, F20 |
| transaction | UPST | Common Stock | Sale | -$369K | -1.64K | -0.16% | $224.50* | 998K | Sep 1, 2021 | See Footnote | F18, F20, F21 |
| transaction | UPST | Common Stock | Sale | -$495K | -2.2K | -0.22% | $225.65* | 996K | Sep 1, 2021 | See Footnote | F18, F20, F22 |
| transaction | UPST | Common Stock | Sale | -$349K | -1.54K | -0.15% | $226.65* | 994K | Sep 1, 2021 | See Footnote | F18, F20, F23 |
| transaction | UPST | Common Stock | Sale | -$90.9K | -400 | -0.04% | $227.34* | 994K | Sep 1, 2021 | See Footnote | F18, F20, F24 |
| holding | UPST | Common Stock | 200K | Sep 1, 2021 | See Footnote | F25 | |||||
| holding | UPST | Common Stock | 9.47M | Sep 1, 2021 | See Footnote | F26, F27 |
| Id | Content |
|---|---|
| F1 | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2021. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.11 to $224.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2), footnotes (6) through (10), footnote (12), footnotes (14) through (17), footnote (19), and footnotes (21) through (24) to this Form 4. |
| F3 | Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the 2008 D&T Girouard Revocable Trust, for which the Reporting Person serves as Trustee (the "Girouard Revocable Trust"), transferred 125,000 shares of Common Stock to the Reporting Person. |
| F4 | Includes a total of 65 shares received pursuant to pro rata distributions in June 2021 and August 2021 from Kleiner Perkins Caufield & Byers XV, LLC, of which the Reporting Person is a member. The acquisition of such shares was exempt pursuant to Rule 16a-9. |
| F5 | Certain of these securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.11 to $225.10. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.11 to $226.10. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.11 to $227.10. |
| F9 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.11 to $228.00. |
| F10 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.13 to $228.14. |
| F11 | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |
| F12 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.83. |
| F13 | These shares are held by Tristen Baird Willard, as trustee of the JRG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |
| F14 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00. |
| F15 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.05. |
| F16 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.25 to $227.05. |
| F17 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.39 to $227.50. |
| F18 | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2021 by the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |
| F19 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.00 to $223.975. |
| F20 | These shares are held by Tristen Baird Willard, as trustee of the TMG 2020 EXEMPT GIFT TRUST, dated October 19, 2020. |
| F21 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.09 to $225.00. |
| F22 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.09 to $226.01. |
| F23 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.16 to $227.00. |
| F24 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.24 to $227.50. |
| F25 | These shares are held by David J. Girouard, as trustee of the Girouard 2020 GRAT, dated October 19, 2020. |
| F26 | These shares are held by the Girouard Revocable Trust. |
| F27 | Immediately prior to the sale by the Reporting Person of an aggregate of 125,000 shares of Common Stock, the Girouard Revocable Trust transferred 125,000 shares of Common Stock to the Reporting Person. |